Investment Compliance Specialist

3 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $180,000 - $210,000
Job Description

This is a unique opportunity for a talented investment compliance professional to join our team. The role will be based in Melbourne or Sydney and involves working as a hybrid, with at least three days a week spent in the office.

Key Responsibilities
  • Provide regular production and accurate compliance monitoring for Mercer Investments (Australia) Limited.
  • Proactively monitor adherence to procedures and control checks on a daily, monthly and quarterly basis.
  • Take ownership of the quarterly third-party fund manager Due Diligence questionnaire process.
  • Assist with the investigation of breaches and incidents and ensure timely resolution and improvement to the control environment.
  • Assist with regulatory filings and review OTC derivatives reporting.
  • Monitor shareholder reporting requirements, including any FIRB exclusions and investment mandate exclusion monitoring.
  • Suggest improvements to manual processes and streamline processes for efficiency.
  • Escalate any exceptions to senior stakeholders.
  • Assist the Senior Manager Investment Governance and Risk with ad hoc tasks and projects.
Requirements
  • Investment compliance experience (3+ years) from a fund or investment management background.
  • A strong understanding of fund or investment management processes, including the drivers behind market movements and knowledge of asset manager processes.
  • Strong Excel skills are essential.
  • Tertiary qualification and/or industry-specific qualification.
  • Experience with a Big 4 or mid-tier professional services firm preferred but not essential.
  • Good organisational, research and administrative skills are a must.

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